Violation Tracker Individual Record
Date:December 12, 2013
Offense Group:financial offenses
Primary Offense:toxic securities abuses
Secondary Offense:investor protection violation
The Securities and Exchange Commission and Merrill Lynch settled allegations involving faulty disclosures about collateral selection for two collateralized debt obligations and maintaining inaccurate books and records.
Level of Government:federal
Action Type:agency action
Agency:Securities and Exchange Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:North Carolina
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking
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